Common Claims Concerning Securities Fraud

If you have suffered losses concerning your securities investments and feel that it may be due to fraud or misconduct on the part of your broker, brokerage firm or investment advisor, you may be able to file a claim to recover your damages. A knowledgeable lawyer from our firm can help you in determining if you have a valid securities dispute and what type of claim you should file.

Knowing Your Rights as an Investor

As a securities investor you have a right to assume that your broker and your brokerage firm are doing their fiduciary duty concerning your account. This means that they must put your best interest before their own. When you feel that your rights have not been protected and your interests not safeguarded you may have a viable claim to file. Some of the more common claims include:

• Suitability-Before your broker makes recommendations for purchases to add to your portfolio, he/she is required by law to determine if his recommended investment is suitable for you. To determine suitability the broker must look at your investment goal, risk tolerance level, age, income, assets and investment experience. When an unsuitable investment results in significant losses for you, you may have a legitimate suitability claim against your broker and/or brokerage firm.
• Negligence-When your broker fails to give you the right information or does not disclose all of the necessary details concerning a recommended investment you may have a claim against your broker for negligence and your brokerage firm for not properly supervising your broker.
• Breach of Fi-Du-When your broker does not adhere to his fiduciary duty to put your best interest before his own, the result can be a breach of fi-du claim against your broker and the brokerage firm.

When the state securities laws as set forth to protect investors from fraudulent and/or negligent activity are violated by your broker or brokerage firm, you have a right to seek compensation for your damages. The skilled legal professionals at our firm are ready to assist you in making the determination of what type of claim to file.

Get Help from Our Experienced Legal Team

If you feel that you broker or your brokerage firm has failed to meet their obligations of fiduciary duty and has recommended and made trades for you that were not in your best interest resulting in significant losses for you, please contact our firm immediately for help in finding a resolution to your securities challenge.

With 35 years of experience representing clients in the field of securities fraud, the legal professionals at The Law Offices of Jonathan W. Evans & Associates can make a profound difference in the outcome of your securities case. We are committed to taking the time to get to know you and every detail of your case in order to launch a thorough and successful strategy for resolving your investment concerns.